Richard Guints
Legal
About Richard Guints:
Investment Advisor and RIA Consulting. Proficient in the Investment Advisers Act of 1940, and conducting Mock Examinations for Wealth Managers. Skilled in evaluating and enhancing RIA compliance programs.
Experience
Currently a Compliance Officer at Tamar Securities, LLC since January 2025.
Previously a Consultant at ACA Group, LLC for since April 2021.
Education
Series 65 licensed. BA in Finance from Loyola Marymount University.
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Jobs near Los Angeles, Los Angeles
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Job summary · If you're a compliance professional who thrives at the intersection of client service, · trust administration and regulatory oversight this is a strong opportunity to step into · a visible career-building role.Support the ongoing execution of the company's complian ...
Long Beach, CA3 weeks ago
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We are looking for a Compliance Officer to join our team at a well-established California bank. The ideal candidate will have regional banking experience and be able to support the Chief Compliance Officer in evolving and strengthening the compliance program. · Supports the Chief ...
Lakewood, CA4 weeks ago
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Description · International Education Corporation is the leader in post-secondary career education. Working at our employee-owned company is more than just a great career - its an investment in yourself. Our mission is to drive personal and community transformation by empowering ...
Katella Ave Ste G Garden Grove, California, United States1 week ago